Reg BI

Broker Robert Spitler in Newbridge Securities Corporation Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Spitler (Spitler), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Spitler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on October 04, 2024.

Suitability, breach of fiduciary duty/breach of covenants of good faith and fair dealing, unauthorized trading, churning, and failure to supervise.

Broker Wilfredo Miranda in Ausdal Financial Partners, Inc. Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilfredo Miranda (Miranda), currently associated with Ausdal Financial Partners, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miranda recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $155,000.00 on October 25, 2024.

Breach of fiduciary duty; suitability; misrepresentation of investment; failure to supervise; breach of contract; regulation bi

Broker Walter Bish in Smith, Brown & Groover, Inc. Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Bish (Bish), currently associated with Smith, Brown & Groover, Inc., has at least one disclosable event. These events include one regulatory, alleging that Bish recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 11, 2024.

On November 6, 2024, without admitting or denying the findings, Respondent entered into an Acceptance, Waiver and Consent (“AWC”) with FINRA wherein Respondent consented to the entry of findings that between July 2014 and February 2018, Respondent recommended that seven of his clients engage in a trading strategy involving a highly risky and complex exchange-traded note (ETN) without fully understanding how the trading strategy worked or the potential risks and rewards of the ETN that the strategy primarily invested in, and, thus, did not have a reasonable basis for recommending the trading strategy to customers. Respondent agreed to a three-month suspension from associating with any FINRA member in all capacities and to the payment of a fine in the amount of $5,000.

There are Recent Customer Complaints with Broker Andrea Bulow in Firm Emerson Equity LLC

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Bulow (Bulow), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bulow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,000.00 on October 08, 2024.

Statement of claim indicates breach of contract, breach of fiduciary duty, failure to supervise, negligence and gross negligence, and violation of Best Interest obligation. Bonds purchased during 2019-2020.

There are Recent Customer Complaints with Broker Rocco Guidicipietro in Firm Alexander Capital, L.p.

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

Broker John Alex in Morgan Stanley Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Alex (Alex), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Alex recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,625,000.00 on November 06, 2024.

Client’s attorney alleged that covered call option strategy was unsuitable for her since the underlying stock continued to increase in value during the time the strategy was in place.

Broker John Wolf in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wolf (Wolf), previously associated with Purshe Kaplan Sterling Investments, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Wolf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 16, 2024.

Unsuitable recommendations on gwg l bonds

There are Recent Customer Complaints with Broker Bryant Riley in Firm B. Riley Securities, Inc.

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryant Riley (Riley), currently associated with B. Riley Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Riley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 20, 2024.

The complaint alleges various causes of action arising from the sale of securities interests in the franchise group go-private transaction and seeks unspecified damages.

There are Recent Customer Complaints with Broker William Mccance in Firm Stonex Securities Inc.

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Mccance (Mccance), currently associated with Stonex Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mccance recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $154,000.00 on December 06, 2024.

In an amended statement of claim, claimants, through counsel, alleged unsuitable investments in GWG L Bonds

There are Recent Customer Complaints with Broker Roy Williams in Firm Kcd Financial, Inc.

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Williams (Williams), currently associated with Kcd Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Williams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 20, 2024.

Alleged to have not met judiciary duty did not match suitability requirements lack supervision failure to comply with rules and obligations failed to properly allocate portfolio gross negligence breach of contract related to the sale of L Bonds and real estate investment trust.